transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients. SEC
statements may be required instead of quarterly financial statements, and the qualifications for CFOs may not be determined. Auditors outside a list of certified auditors by SEC may also be considered
client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered
was for the purchase of mutual fund units on their behalf. However, the money was, in fact, not used for the buying transactions as per clients’ orders, but for Teerasak’s personal matters instead. In
was always higher than its acquisition price. The buy side would occur in the opposite direction. Instead of buying securities for UBS?s clients at the best offer available on the SET main board
was suspended until that date while the rest of suspension period was instead set as the period for acceptance of her re-application for approval as capital market personnel, effective as from April 27
end of the last business day of each month cannot be calculated, the net asset value as announced during any calendar year shall be averaged out according to the number of announcements instead. 5 (2
resolution to approve the interim payment instead of the annual dividend payment at a rate of Baht 0.09 per share. The dividend payment date is on May 8, 2020. 3. The extension of the periods of Concession
end of the last business day of each month cannot be calculated, the net asset value as announced during any calendar year shall be averaged out according to the number of announcements instead. (2) the